WHITE COLLAR CRIMINAL AND OTHER CRIMINAL/REGULATORY

We have served as federal prosecutors and criminal defense attorneys in a wide range of federal and state criminal matters, including the following:

+ Healthcare Fraud

  • Defended leading long-term care corporation in federal criminal health care fraud investigation. Challenged conduct of search of company headquarters in pre-indictment action. After oral argument before federal court of appeals and presentation to Department of Justice, the government closed the investigation without charges.
  • Represented executive of publicly traded healthcare corporation in major federal criminal fraud investigation. The government indicted a number of key executives, but declined prosecution of client.
  • Represented home healthcare company in healthcare fraud and criminal tax investigation. After presentations to United States Attorney’s Office and to the Tax Division, government declined prosecution of healthcare fraud and tax offenses.
  • Conducted investigation into billing practices for respected physician in response to federal healthcare fraud “upcoding” investigation. Presented findings of investigation to government resulting in declination of case.
  • Represented United States in successful criminal action against leaders of organized crime syndicate for large-scale healthcare fraud, money laundering, and tax fraud. Obtained convictions and multi-million dollar asset forfeitures, including from overseas jurisdiction.

+ Drug Trafficking, Pharmaceutical Diversion, and Money Laundering

  • Represented United States as lead trial attorney in landmark six month trial of executives of Panamanian Bank, B.C.C.I., in money laundering conspiracy trial. The case received national media attention and is now the subject of books and a major motion picture.
  • Defended pharmacy chain subject to criminal DEA diversion investigation. Conducted internal investigation and turned findings over to government, resulting in no charges filed against corporation.
  • Represented the United States in Continuing Criminal Enterprise investigation and prosecution of Asian heroin trafficking organization. Convicted the defendants in multi-week jury trial.
  • Represented lead defendant in Continuing Criminal Enterprise drug conspiracy prosecution arising from operation of internet pharmacy. Moved to suppress wiretap and to dismiss indictment on constitutional grounds. Case resolved with plea resulting in sentence of less than half of the time originally sought by the government.
  • Represented Nevada pharmacy subject to DEA search warrant. Resolved diversion investigation without criminal charges against pharmacy even though government charged individual pharmacist and other alleged participants in drug diversion conspiracy.

+ Foreign Corrupt Practices Act and Public Corruption

  • Represented a global media and entertainment company in a DOJ FCPA investigation of conduct in China. The government declined to file charges against client.
  • Represented United States as co-lead trial attorney in investigation and prosecution of bribes paid to foreign officials in Asia. Convicted defendants in multi-week jury trial. Froze millions of dollars in assets, including from offshore jurisdictions. Judgments affirmed on appeal.
  • Defended attorney in federal RICO prosecution involving public corruption and alleged violent crime in aid of racketeering. On the eve of trial negotiated plea agreement resulting in sentence substantially below that of any non-cooperating defendant.
  • Represented United States in prosecution of elected government official and associates. Convicted defendants following 5-week trial. Forfeited proceeds of crimes. Awarded the United States Department of Justice Director’s Award for conduct of the investigation and prosecution.
  • Defended employee of government contractor in public corruption investigation. Government immunized client and declined all charges.
  • Represented United States in investigating and successfully charging corrupt criminal conduct by foreign official in oil and gas industry.
  • Represented an energy company in connection with multiple whistleblower complaints about alleged FCPA violations, and related contacts with U.S. enforcement authorities, concerning conduct at joint ventures in the former Soviet Union. The government declined to file charges against client.
  • Represented an extractive industry company in connection with FCPA internal investigations concerning conduct in its African and Asian affiliates.
  • Advised an industrial minerals company on government demands in negotiations of one the largest FCPA settlements in history.
  • Defended two executives of a major global food and beverage company in government civil and criminal investigations of FCPA allegations in multiple overseas subsidiaries. Notwithstanding a civil settlement by the company, the government filed no charges against either client.
  • Represented conglomerate in multiple FCPA internal investigations of overseas subsidiaries. As for one subsidiary, the client reported to government the evidence uncovered as to FCPA violations but also detailed its steps in remediation, thus obtaining a full declination.
  • Represented numerous companies and private equity funds in connection with anti-corruption risk assessment and the design and implementation of anti-corruption compliance programs;
  • Represented numerous companies and private equity funds in connection with dozens of third-party and transactional FCPA due diligence exercises in Asia, Africa, South America, and Australia.
  • Represented a company in World Bank sanctions proceedings where it was charged with collusion, corruption, fraud, and obstruction of justice.

+ Securities Fraud, Investment Fraud, and Other Fraud

  • Defended former financial services executive in SEC insider trading trial. Jury returned verdict of no liability on traditional 10b5 insider trading count but found liability for section 14 tender offer violation.
  • Represented the Commission in well known insider trading action that established law in this area.
  • Represented investment fund and its sole principal in highly publicized investment fraud investigation. Negotiated corporate plea that spared principal from prosecution. Appeared three times before federal district court to convince the court to accept the corporate plea agreement.
  • Represented controller for corporation involved in billion dollar securities fraud and bank fraud. Notwithstanding the convictions of other executives, the government filed no charges against client.
  • Defended a hedge fund against government allegations of soft money violations of the securities laws. After Wells submission, the government issued a no-action letter, citing the submission in the exercise of its discretion.
  • Conducted independent investigation for major bank into factual circumstances leading to worst bank fraud and loan default in bank’s long history.
  • Investigated conflicts of interest and potential commercial bribery involving two publicly-traded corporations. Submitted report to the board of directors.
  • Represented major employee pension fund in investigating potential fraud and misconduct involving private equity investments.

+ Criminal Tax

  • Represented health care provider and owner in federal criminal healthcare investigation. Federal prosecutors then initiated criminal tax investigation. Successfully advocated to DOJ Tax Division to decline prosecution of criminal tax case.

  • Represented United States as lead trial attorney in successful trial of Klein Conspiracy case against professional money launderer who assisted tax fraud.

  • Represented United States as co-lead trial attorney in successful trial of tax fraud case against bribe payor who deducted bribes on tax returns as business expenses.

  • Represented United States in obtaining guilty pleas from defendants who filed false tax returns under-reporting income, failing to report foreign bank account holdings, and deducting bribes as business expenses.

+ Criminal (Other)

  • Defended the chief executive officer of a public company in connection with a criminal investigation by a federal, state, and local task force of alleged violations of safety regulations that the government contended resulted in multiple fatalities. Notwithstanding filing criminal charges against the company resulting in guilty verdict, the government filed no charges against client.
  • Represented Grammy-award winning musician on felony assault and weapons charge. After lodging constitutional challenge to the indictment, State dismissed felony charges and allowed plea to fourth degree misdemeanor resulting in a sentence of a $250.00 fine.
  • Represented the former youngest inmate on Ohio’s death row. Reopened discovery in federal habeas and won grant of writ of habeas corpus. Habeas relief upheld in federal court of appeals, resulting in voiding of sentence of death and eligibility for parole.
  • Defended major automaker production manager charged with assault and battery on union employee. Conducted own investigation of incident. After presenting evidence to prosecutor and court, prosecutor agreed to dismiss charges against client.
  • Defended an aerospace company in a government investigation of alleged export controls violations. The government filed no charges against client.
  • Represented United States in successful criminal action against elected official and associates for obstructing a grand jury investigation.

Complex Civil Litigation

We have represented a range of clients including Fortune 500 companies, private companies, non-profits, and individuals in civil litigation, including the following representative matters:

+ Antitrust

  • Co-trial counsel for plaintiff corporations in multi-week antitrust conspiracy jury trial. Examined eleven witnesses and delivered the principal closing argument. Jury returned verdict for clients resulting in a $33 million dollar judgment after trebling. Federal court of appeals upheld jury verdict on appeal.
  • Prosecuted claims for two publicly traded corporations against defendants in a series of alleged global price-fixing cartels. Took the lead for all plaintiffs in significant fact witness and expert witness depositions. Defeated defendant motions for summary judgment before settling cases on confidential terms.
  • Defended healthcare company against antitrust claims brought by competitor. After extensive briefing on motions to dismiss, plaintiff corporation voluntarily dismissed its claims.

+ Securities Litigation

  • Served as co-lead counsel for class in securities fraud action against biotechnology company. Defeated motion to dismiss and won motion for class certification. Conducted extensive discovery program, including personally deposing key executives and scientists. Settled case for $75 million dollars.
  • Defended general counsel of bankrupt publicly traded corporation in securities fraud action. Claims resolved without cost to client.
  • Defended publicly traded corporation against action to enjoin acquisition by another company. Defeated injunction action thus allowing acquisition to go through.

+ General Litigation

  • Won four week breach of contract jury trial for defendant multinational corporation. Presented opening and closing arguments and examined principal fact witnesses, including two day cross-examination of President of plaintiff company. Jury returned verdict of no liability for client.
  • Won complete victory in arbitration arising from alleged theft of trade secrets and unfair competition. Retired federal judge arbitrator awarded defense verdict for client on principal claims and awarded full damages for client on counterclaims.
  • Defended County Prosecutor and County Coroner against section 1983 action brought by former death row inmate previously granted habeas relief for the suppression of exculpatory evidence. Won dismissal of multi-million dollar claims. Argued case in federal court of appeals which upheld result. Received “Stare Decisis Award” for outstanding conduct of litigation.
  • Won declaratory judgment trial for biotechnology company sued by insurer to void nationwide punitive damages coverage.
  • Won dismissal of RICO claims brought against defendant law firm.
  • Defended federal court suit against multi-tier marketing company client brought for finder’s fee. Obtained summary judgment for client, and affirmance on appeal.

APPELLATE EXPERIENCE

We have substantial experience winning appeals before federal and state court of appeals, including the following:

+ Appeals

Representative appellate experience includes the following:

  • Appealed dismissal of pre-indictment challenge to conduct of search warrant on corporate headquarters. Following oral argument wherein panel of federal court of appeals expressed significant concern for conduct of search, the government closed its investigation and returned all evidence seized from client’s office.
  • Represented United States in appeals from Operation Peacemaker international drug trafficking convictions. Case is noted as one of the most significant prosecutions in the history of the Middle District of Florida. Argued successfully for affirmance before 11th Circuit Court of Appeals.
  • Successfully argued for affirmance in federal court of appeals of dismissal of civil rights case brought by former death row inmate. Case affirmed in published opinion.
  • Won affirmance as co-counsel in federal court of appeals of $33 million dollar antitrust jury verdict.
  • Represented United States in federal court of appeals in expedited appeal of crime-fraud exception rulings by the district court. Won affirmance of rulings permitting discovery.
  • Represented permanent resident alien in federal court of appeals in immigration matter. Won precedent-setting ruling on the novel legal question of whether an expunged foreign conviction for simple marijuana possession can serve as the basis for deportation.

INDEPENDENT INVESTIGATIONS

We have conducted significant independent investigations for leading corporations, government entities, a research university, and a major professional sports franchise, including the following:

+ Independent Investigations

One or more of our attorneys have served as counsel in the following representative independent investigations:

  • Conducted independent investigation into potential misconduct at major professionals sports team.
  • Retained by the State of Ohio to investigate fraud at the Ohio Treasury, the sixth largest treasury in the country. After extensive investigation, published a 67 page report which received widespread media attention.
  • Represented conglomerate in multiple FCPA internal investigations of overseas subsidiaries. As for one subsidiary, the client reported to government the evidence uncovered as to FCPA violations but also detailed its steps in remediation, thus obtaining a full declination.
  • Led an FCPA internal investigation of conduct in the China affiliate of a private equity fund.
  • Conducted independent investigation for major bank into factual circumstances leading to worst bank fraud and loan default in bank’s long history.
  • Conducted investigation into potential antitrust violations committed by subsidiary of publicly traded company. Identified issues for correction and provided additional training and policies for employees.
  • Conducted for acquiring company a series of due diligence investigations into potential foreign bribery and antitrust issues at companies to be acquired.